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AC

Amy Carrillo

CITIZENS SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 7739287
AC

Professional summary

Amy Carrillo, who also goes by Amy Aviles, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in San Francisco, California and CITIZENS PRIVATE WEALTH located in San Francisco, California.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Amy has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Amy Aviles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Bookkeeper for my husband's business, Good Guys Trucking LLC. Address: 107 Cadiz Ct., Vallejo CA 9459. It is a Freight Trucking business and I assist with basic bookkeeping and paying quarterly taxes. This is my husband's company so I don't get paid for being a Bookkeeper. I devote about 3-4 hours a week to the business after hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Carrillo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 25, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 101 California Street, San Francisco, CA 94111
RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Current

November 13, 2024 - Present

CITIZENS PRIVATE WEALTH

Office #1: 101 California Street, San Francisco, CA 94111
RIA
CRD#: 106743
SAN FRANCISCO, CA
Current

October 24, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 101 California Street, San Francisco, CA 94111
RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Past

June 3, 2024 - October 2, 2024

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
San Francisco, CA
Past

September 29, 2023 - October 2, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
San Francisco, CA
Past

August 22, 2023 - October 7, 2024

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
San Francisco, CA
Past

June 6, 2023 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
San Francisco, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA
Registered Investment Advisory firm - (2/20/1992 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/24/2024)
IAR
California
(10/25/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/21/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA
Registered Investment Advisory firm - (2/20/1992 Approved)
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Contact information

Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts7,846
AUM (Assets Under Management)$ 12,182,945,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
07/28/2023
Cover Page
Report
10/28/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CITIZENS PRIVATE WEALTH

CRD#: 106743San Francisco, CA 94111

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